Contact Us For A Free Consultation (888) 637-5510

Securities LawyerTag Archive

Fraud in Retirement & Brokerage Accounts on the Rise Retirement and brokerage accounts saw a rise in fraud cases in 2018, according to news reports this week. According to a recent study by the Greenwich Associates firm Javelin Strategy & Research cited by WealthManagement.com, retirement account fraud made up

Raymond Malicki Broker Investigation According to the Financial Industry Regulatory Authority (FINRA) on March 4, the regulator has barred former Morgan Stanley broker Raymond Malicki for refusing to appear for testimony for its investigation of his departure. Last month, FINRA requested Malicki appear for testimony

John Gregory Schmidt to Pay $1.1 Million for Fraud Charges Have you suffered losses investing with John Gregory Schmidt? If so, the securities fraud attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim. According to a press release, Securities and Exchange Commission (SEC)

Kestra Financial fined $225,000, will repay $1.9 Million to investors. According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Kestra Financial $225,000 and is required to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors

Hector May – Securities America – Recovery of Investment Losses According to reports yesterday, the Securities and Exchange Commission has barred former Securities America broker Hector May for allegedly running a $7.9 million Ponzi scheme with his daughter who served as the controller of his investment advisory

Pacific Gas & Electric – PG & E Investment Losses Have you suffered losses investing in PG & E Municipal Bonds? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. According to

NorthStar Healthcare Income – Securities Investigation To learn more please click play. The White Law Group continues to investigate potential claims involving the liability that broker-dealers may have for improperly recommending

Recovery of Investment Losses in Atlas Resources Series 34-2014 LP For more information, press play to watch a short video. The White Law Group continues its investigation into the liability that FINRA registered broker-dealers may have for

Recovery of Investment Losses – Reef 2015 Oil & Gas Opportunity Fund #1 L.P. Have you suffered investment losses in Reef 2015 Oil & Gas Opportunity Fund #1 L.P.? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through a FINRA Dispute Resolution claim.

Securities Investigation – Cal Phoenix Re 2018-1 Are you concerned about your investment in Cal Phoenix Re 2018-1? If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim. According to reports, PG&E Corporation, (the